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Robert Fantozzi

Oppenheimer & CO. INC.
21 Years of Experience
Boston, MA
2 DisclosuresBroker
View SEC Summary
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Robert Fantozzi is a registered investment advisor at Oppenheimer & CO. INC., based in Boston, MA, with 21 years of industry experience. Robert is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

255 State Street, 5th Floor, Boston, MA, 02109

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2014
Settled
Criminal
January 2002
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Oppenheimer & CO. INC.
June 2018 - Present · 8 yrs 4 mos
Oppenheimer & CO. INC.Broker
April 2018 - Present · 8 yrs 6 mos
Previous Registrations
Morgan Stanley
August 2011 - April 2018 · 6 yrs 8 mos
Morgan StanleyBroker
July 2011 - April 2018 · 6 yrs 9 mos
Lehman Brothers INC.Broker
June 2000 - December 2002 · 2 yrs 6 mos
Paribas CorporationBroker
April 1998 - August 1999 · 1 yr 4 mos
Tradition (government Securities) INC.Broker
April 1996 - February 1998 · 1 yr 10 mos
Patriot Securities, INC.Broker
September 1994 - January 1995 · 4 mos
State Registrations15 states
CACTDEFLGAMANHNJNYPARISCTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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